Reg BI

There are Recent Customer Complaints with Broker Anthony Martinelli in Firm LPL Financial LLC

April 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Martinelli (Martinelli), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Martinelli recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $3,000,000.00 on July 18, 2024.

Customer alleges failure to follow instructions regarding option trades and poor performance with respect to customer’s managed portfolio. Time period 2019-2024.

Broker Anthony Divalerio in Morgan Stanley Firm Has Customer Complaint

April 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Divalerio (Divalerio), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Divalerio recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $35,000,000.00 on July 17, 2024.

Claimant alleges, inter alia, that he received incorrect advice regarding the sale of Vertex stock pursuant to Rule 144.

There are Recent Customer Complaints with Broker Stanley Cooper in Firm RBC Capital Markets, LLC

April 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stanley Cooper (Cooper), previously associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cooper recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on July 18, 2024.

Alleged fraud and breach of fiduciary duty by failing to disclose information regarding Plaintiff’s withdrawals from trust account versus return on investments, and overconcentration / unsuitability of investments.

There are Recent Customer Complaints with Broker Gene Griffin in Firm Cfd Investments, INC.

April 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gene Griffin (Griffin), currently associated with Cfd Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Griffin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $71,000.00 on July 20, 2024.

Customer made an unsolicited purchase of PTON stock. Customer alleges that he also requested a stop loss to be put in place at the time of that transaction, however that stop-loss transaction was never placed.

There are Recent Customer Complaints with Broker Michael Hirthler in Firm LPL Financial LLC

April 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Hirthler (Hirthler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hirthler recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $3,000,000.00 on July 18, 2024.

Customer alleges failure to follow instructions regarding option trades and poor performance with respect to customer’s managed portfolio. Time period 2019-2024.

Broker Mckinzie Valverdy in Puente Servicios Financieros LLC Firm Has Customer Complaint

April 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mckinzie Valverdy (Valverdy), currently associated with Puente Servicios Financieros LLC, has at least one disclosable event. These events include one customer complaint, alleging that Valverdy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 24, 2024.

Client alleges Mckinzie Valverdy failed to follow instructions in July 2023 related to the purchase of two positions.

Broker Kevin Dauphinee in Portsmouth Financial Services Firm Has Customer Complaint

April 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Dauphinee (Dauphinee), previously associated with Portsmouth Financial Services, has at least one disclosable event. These events include one customer complaint, alleging that Dauphinee recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on July 25, 2024.

Claim states Agent recommended an investment strategy that was not in Claimants best interest.

There are Recent Customer Complaints with Broker Shane Johnson in Firm M Holdings Securities, INC.

April 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shane Johnson (Johnson), currently associated with M Holdings Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Johnson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $98,364.14 on July 25, 2024.

A representative at the firm supervised by Shane Johnson provided incorrect illustrations to the clients at the time of sale in September 2023 resulting in distributions that were lower than intended. The error was discovered by the firm and disclosed to the client and it was handled through errors and omissions insurance and the clients were made whole. The resulting release agreement named Shane Johnson as allegedly providing incorrect illustrations.

There are Recent Customer Complaints with Broker Evan Saterfiel in Firm Newedge Securities, LLC

April 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evan Saterfiel (Saterfiel), currently associated with Newedge Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Saterfiel recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $79,951.00 on July 22, 2024.

Customer Alleges Financial professional Misrepresented the implications of exchanging a life insurance policy for a variable annuity in 2021.

Broker Victoria Bogner in Aw Securities Firm Has Customer Complaint

April 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victoria Bogner (Bogner), currently associated with Aw Securities, has at least one disclosable event. These events include one customer complaint, alleging that Bogner recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $210,000.00 on July 25, 2024.

Claimants allege they were recommended unsuitable investments.